Publications

Showing 122 to 131 of 169 search results for mifid II.

122. MiFiD: Regulation of markets in financial instruments

     Markets in Financial Instruments Directive (MiFiD) information for investment firms and trading venues.

123. MiFID Investment and Non Investment Insurance Contracts Supplement Form [docx]

     Forms

     Published: 13/01/2017

     Last modified: 28/09/2018

     MiFID Investment and Non Investment Insurance Contracts Supplement Form.

124. MiFID Investment, Home Finance and Non-Investment Insurance Contracts Supplement Notes [docx]

     Forms

     Published: 13/01/2017

     Last modified: 22/03/2022

     MiFID Investment, Home Finance and Non-Investment Insurance Contracts Supplement Notes

125. MiFID Investment, Home Finance and Non-Investment Insurance Contracts Supplement Form [docx]

     Forms

     Published: 13/01/2017

     MiFID Investment, Home Finance and Non-Investment Insurance Contracts Supplement Form

126. mifid-ii-general-guidance.pdf [pdf]

     Documents

     Published: 03/01/2017

     Last modified: 10/05/2018

127. Pre-trade transparency waivers [pdf]

     Correspondence

     Published: 19/12/2016

     On 19 December 2016 ESMA published Q&A on the process of how it delivers opinions to national competent authorities on pre-trade transparency waivers. In light of this we have written to UK operators of trading venues. This letter is relevant to

128. CP16/43: Markets in Financial Instruments Directive II implementation – Consultation Paper IV

     Consultation papers

     Published: 16/12/2016

     Last modified: 20/02/2017

     We are consulting on our fourth set of implementation proposals for MiFID II and seeking views on our proposed changes to the FCA Handbook.

129. CP16/43: Markets in Financial Instruments Directive II implementation – Consultation Paper IV [pdf]

     Consultation papers

     Published: 16/12/2016

     We are consulting on our fourth set of implementation proposals for MiFID II and seeking views on our proposed changes to the FCA Handbook.

130. CP16/40: Enhancing conduct of business rules for firms providing contract for difference products to retail clients

     Consultation papers

     Published: 06/12/2016

     Last modified: 09/03/2017

     This consultation outlines our concerns around increasing evidence of poor conduct and risks to investor protection from retail contracts for differences (CFDs) and proposes a package of policy measures designed to address those risks.

131. Market Interface Specification (MIS) confidentiality agreement [docx]

     Forms

     Published: 31/10/2016

     Last modified: 03/04/2019

     Entities wishing to become submitting entities under MiFID II need to complete a confidentiality agreement to request a copy of the Market Interface Specification (MIS).

132. Minutes of the MiFID II implementation: Trade Association Roundtable, September 2016 [pdf]

     Meeting minutes

     Published: 13/10/2016

     From the meeting held on 6 September 2016.